Full text of STERN CAPITAL LLC's X-17A-5 filed 2020-02-26 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # REPORT ON AUDIT OF CONSOLIDATED STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2019 {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | ANNUAL | AUDITED | REPORT | | |---------------------|---------|--------|--| | A-5<br>FORM<br>X-17 | | | | | PART<br>Ill | | | | 0MB APPROVAL OMBNwnbcr: 3235-0123 Expires: August 31, 2020 hours oer resoonse... 12.00 **8-66433** SEC FILE NUMBER Estimated average burden ## **FACING PAGE** # **Information Required of Brokers and Dealers Pursuant to Section** 17 **of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | _~l~/O=l~/2<br>___ 0-19 | ____ AND ENDING | 12/31/2019 | | | |-------------------------------------------------------------------------------------------------------|---------------------------------------------------------|-----------------|-------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALERS: | STERN CAPITAL LLC | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>420 LEXINGTON A VENUE, SUITE 300 | | | FIRM I.D. NO. | | | | | (No. and Street) | | | | | | NEWYORK | NY | | 10170 | | | | (Caty) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | LAWRENCE M. STERN | | | (212) 832-1200 | | | | | | | (Area Code- Telephone Number) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | | | | | | | Gettry Marcus CPA P.C. | | | | | | | | (Name - if individual, statB Jn:;t.Jirsl, middla 11ama) | | | | | | NEWYORK<br>1407 BROADWAY | | NY | 10018 | | | | (City)<br>(Address) | | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountants<br>!El | | | | | | | D Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions.<br>0 | | | | | | | FOR OFFICIAL USE ONLY | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant 11111st be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.l 7a-* *5(e)(2)* **Potential persons who are to respond to the collection of information contained in thi…Read the full text as markdown